BY JOSHUA E. BROADED When I joined the Securities and Exchange Commission in 2003 they asked me for a three-year commitment. I was told that it took at least a year for a new examiner to learn enough to become useful in the field, and the SEC wanted to lock […]
Volume 12-1
WASN’T MY BROKER ALWAYS LOOKING OUT FOR MY BEST INTERESTS? THE ROAD TO BECOME A FIDUCIARY
BY STEVEN D. IRWIN, SCOTT A. LANE, AND CAROLYN W. MENDELSON Recently, a call for public change has been heard for the brokerage business. Is it time for a broker to have the same legal duty to his or her client as the investment adviser? Many in society are unaware […]
